severe damage or a negative impact on public interest, or when a chance to clarify cannot be given to the alleged offender per se. If the gathered evidence presents a sufficient ground for enforcement, the
) กรณีที่กองทุนรวมบันทึกมูลค่าตราสารหนี้เป็น “0" หรือกรณีที่ผู้ออกตราสาร หนี้มี potential default ให้ผู้ถือหน่วยลงทุนทุกรายที่มีชื่ออยู่ในทะเบียน ณ วันที่ บลจ. ได้บันทึกมูลค่าตราสารหนี้เป็น “0" หรือวันที่
Detailed explanation concerning particular risk on the company Chance of risk occurring Effects on the company if the risk occurs Type of operation Important points What kind of business does the company
, as well as taken into consideration the potential impact on the unitholders of each class. (3) Naming a mutual fund The name of a mutual fund shall not mislead investors about features, types
investors for their investment decisions. In additions, the investment consultants/investment planners shall ensure that the potential clients are informed of the action taken before accepting purchasing
transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage conflict of interests. The company must not be dependent on the business of a person who may have a conflict of
business relationship, investment, or administration and management of the issuer, for example, customers, suppliers of raw materials, potential business partners of the issuer, the affiliated companies of